Nex Systems
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Albert Fried & Companyy LLC

Regulator action

United States. Named in 1 sanctions listing.

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Sanctions and listings1

  • Official designation

    Financial Industry Regulatory AuthorityUS FINRA Enforcement ActionsUnited States

    02/22/2017: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 2015045345501 TO: Department of Market Regulation Financial Industry Regulatory Authority ("FlNRA") RE: Albert Fried & Company, LLC ("AFCO" or the "firm"), Respondent Broker-Dealer CRD No. 1914 Pursuant to FINRA Rule 9216 of FINRA's Code of Procedure, Albert Fried & Company, LLC C'Respondent" or the "firm") submits this Letter of Acceptance, Waiver and Consent ("AWC") for the purpose of proposing a settlement of the

    Reference 2015045345501data-portal.finra.orgfinra.org

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